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Compliance Officer – Capital Markets

  • Location: London
  • Salary: £80,000 - £85,000 per year
  • Job Type:Permanent

Posted about 1 year ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Contact Phone: 07779001748
  • Expiry Date: 29 March 2023
  • Job Ref: EM/9600

​​​MERJE are supporting this highly prestigious Financial Services in their search for a Compliance Officer.

Our client’s focus is to build a financial plan & investment strategy for their clients by providing a tailored discretionary, advisory and execution- only services to individuals, corporates, trusts and funds and a wealth planning service.

As they continue to grow, they are actively looking to recruit a dedicated Compliance Officer within their Capital Markets division. Their Capital Markets division provides Corporate Finance, Research, Market Making and Fund-raising capabilities to quoted small/mid-cap companies


Providing support to the Chief Risk and Compliance Officer you will:

•Support the implementation of the firm’s risk and compliance policies and procedures

•Undertake specified monitoring checks and controls aimed at assisting the firm in maintaining compliance with rules, regulations, legislation and the firm’s policies

•Assist in the development and embedding of the firm’s Risk Management Framework

•Advise the Capital Markets business on their regulatory obligations and ensure the Capital Market business complies with all relevant legislation and codes of conduct

•Deal with questions and queries from the business on Compliance and Risk issues

•Assist with training across the business where necessary

•Assist in collating upcoming regulatory changes, communicating changes to the business and tracking all required actions

•Timely review and approval of financial promotions and marketing materials


•Ideally 3-5 years of corporate finance Compliance experience gained from either an investment bank, NOMAD or other corporate finance provider

•Need to be strategic and commercial with a strong attention to detail

•Will be robust, solution-driven and be able to build relationships across the business

•A working knowledge of the current UK and EU financial service regulatory regime– including but not limited: MiFID, trading and advisory experience; Market Abuse Regulations, SMCR; FCA Principles of Business; and AIM regulations

•Can easily communicate at all levels with colleagues and clients

•The ability to work under pressure with strong interpersonal, planning and organisational skills

•Organisational awareness

•Works in partnership with the Business

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.